Okla. Admin. Code § 660:11-5-41

Current through Vol. 41, No. 19, June 17, 2024

Section 660:11-5-41 - Books and records requirements for broker-dealers

17 CFR § 240.17a-3 (2013) and 17 CFR § 240.17a-4 (2014), books and records rules established by the SEC under the 1934 Act, are hereby incorporated by reference as if fully set forth into this Chapter.

Okla. Admin. Code § 660:11-5-41

Added at 21 Ok Reg 2532, eff 7-1-04

Amended by Oklahoma Register, Volume 35, Issue 24, September 4, 2018, eff. 11/1/2018